Nicole M. Giles
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicole M Giles, who also goes by Nicole Manning Giles, Andrea Nicole Manning, Nicole Manning Smith, was a registered financial professional .
Nicole is a previously registered financial professional and started their career in finance in 1997. Nicole had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2012 - April 11, 2016
RAYMOND JAMES & ASSOCIATES, INC.
January 6, 2012 - April 11, 2016
RAYMOND JAMES & ASSOCIATES, INC.
October 21, 2011 - January 4, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 13, 2011 - January 4, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - April 26, 2010
MORGAN STANLEY
June 1, 2009 - April 26, 2010
MORGAN STANLEY
April 8, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 17, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 17, 2000 - August 31, 2001
MANULIFE WOOD LOGAN, INC.
March 7, 2000 - July 6, 2000
J.C. BRADFORD & CO.
April 17, 1997 - December 20, 1999
MESIROW FINANCIAL, INC.
January 27, 1997 - April 1, 1997
J.C. BRADFORD & CO.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
